Elm3 Financial Group, Llc
- Regulatory AUM
- $189M
- Discretionary
- $183M
- Clients
- 287
- Avg AUM / client
- $659K
- Accounts
- 680
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jun 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 216 | $52.7M | 27.9% |
| High net worth individuals | 66 | $135M | 71.3% |
| Corporations and other businesses | 5 | $1.5M | 0.8% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stacey Ann Nickens | Chief Investment Officer/ President/Member | CFP | Feb 2006 (21y) | 75% or more |
| Margaret Nickens | Chief Compliance Officer | CFP | Mar 2022 (4y) | Less than 5% |
| Monica Ladson | Registered representative | Dec 2025 (1y) | ||
| Roxane Sue Dimon | Registered representative | CFP | Jun 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/08/2026 | 1.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Distributors Company Llc $189M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 08, 2026.
View current Form ADV (SEC/IAPD) ↗